The Bond Buyer12d
FINRA fines two firms, one for failing to oversee political contributions
Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...
UBS5mon
You are being redirected to BrokerCheck.org
BrokerCheck.org is maintained by the Financial Industry Regulatory Authority (FINRA), which oversees the firms that sell stocks, bonds, mutual funds and other securities. The website provides ...
JD Supra4d
FINRA Securities Lending Reporting Rules Approved
The SEC has approved FINRA's 6500 rule series, which governs the Securities Lending and Transparency Engine (SLATE). The rules require some ...
Investment Executive1mon
FINRA orders restitution to fund investors
In a series of settled enforcement actions, the U.S. Financial Industry Regulatory Authority Inc. (FINRA) ordered the three firms — Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, ...
InvestmentNews8d
Finra tags South Florida BD with $105,000 in penalties linked to margin accounts.
Newbridge Securities in September agreed to a settlement with Finra to pay a penalty of $168,000 for its lack of compliance with anti-money laundering programs to oversee new clients linked to a 2019 ...
Forbes1mon
FINRA Crawls Toward Crypto Acceptance While Wirehouses Hold The Line
In response to the undeniable impact of digital assets on the investment world, FINRA recently published a comprehensive section on crypto assets on their website. This move represents a slow but ...